Introduction to the NAP Technical Guidelines

NAP-GSP Regional Training Workshop

for Asia and the Pacific

20-21 October, Colombo, Sri Lanka

Guiding principles for NAPs (decision 5/CP.17)

Continuous planning process at

the national level with iterative

updates and outputs

Country-owned, country-driven

Not prescriptive, but flexible

and based on country needs

Building on and not duplicating

existing adaptation efforts

Participatory and transparent

Enhancing coherence of

adaptation and development

planning

Supported by comprehensive

monitoring and review

Considering vulnerable groups,

communities and ecosystems

Guided by best available

science

Taking into consideration

traditional and indigenous

knowledge

Gender-sensitive

The NAP technical

guidelines

D. Reporting, Monitoring and Review

1. Monitoring the NAP process

2. Reviewing the NAP process to assess progress, effectiveness and gaps

3. Iteratively updating the national adaptation plans

4. Outreach on the NAP process and reporting on progress and effectiveness

A. Laying the groundwork and addressing gaps

1. Initiating and launching of the NAP process

2. Stocktaking: identifying available information on climate change impacts, vulnerability and adaptation and assessing gaps and needs of the enabling environment for the NAP process

3. Addressing capacity gaps and weaknesses in undertaking the NAP process

4. Comprehensively and iteratively assessing development needs and climate vulnerabilities

C. Implementation Strategy 1. Prioritizing climate change adaptation in national planning

2. Developing a (long-term) national adaptation implementation strategy

3. Enhancing capacity for planning and implementing adaptation

4. Promoting coordination and synergy at the regional level and with other multilateral environmental agreements

B. Preparatory Elements 1. Analysing current climate and future climate change scenarios

2. Assessing climate vulnerabilities and identifying adaptation options at the sector, subnational, national and other appropriate levels

3. Reviewing and appraising adaptation options

4. Compiling and communicating national adaptation plans

5. Integrating climate change adaptation into national and subnational development and sectoral planning

Sample process to formulate and implement National Adaptation Plans

Element A: Lay the groundwork and address gaps

Objective: Lay the groundwork and address gaps

Expected outputs

1. Political mandate

2. Overview document of existing data,

information and activities

3. Enabling environment for the NAP

process including: (i) institutional

arrangements, (ii) NAP strategy and

roadmap, (iii) stakeholder analysis

and engagement plan and (iv) M&E

framework

4. Approach to continuously identify the

interface between adaptation and

development

Activities

1. Inform policy makers and create a

vision of the NAP process

2. Take stock of existing data,

information and activities

3. Assess and address gaps in

enabling environment for the NAP

process

4. Identify preliminary linkages

between adaptation and

development

5. Raise awareness, communicate

and educate on climate change

Outcome

• Political buy-in

• Data, information and institutional basis

• Informed stakeholders

Indicative activities for each step (example element A)

Element A. Lay the groundwork and address Gaps Steps Indicative activities

1. Initiating and launching the NAP process

a. Conduct briefings to policymakers about climate change adaptation challenges and opportunities, and the NAP process in particular

b. Designate the spearheading or coordinating mechanism

c. Create or enhance a national vision and mandate for the NAP process d. Operationalize the NAP process through access to support e. Define a NAP framework and strategy as well as a road map, including

sequencing of various NAPs and a monitoring and evaluation plan for the NAP process

2. Stocktaking: identifying available information on climate change impacts, vulnerability and adaptation and assessing gaps and needs of the enabling environment for the NAP process

a. Conduct a stocktaking of ongoing and past adaptation activities

b. Synthesize available analyses of the current and future climate at the broad national and/or regional level

c. Conduct a gap analysis to assess strengths and weaknesses regarding the capacity, data and information, and resources required to effectively engage in the NAP process

d. Assess potential barriers to the planning, design and implementation of adaptation activities

3. Addressing capacity gaps and weaknesses in undertaking the NAP process

a. Develop and enhance enabling institutional and technical capacity for the formulation of the NAP

b. Identify and enhance awareness of potential opportunities for integrating climate change adaptation into development planning at different levels

c. Design and implement climate change communication programmes, public awareness-raising and education

Step A.1: Initiating and launching of the NAP process

Key questions

What is the overall national approach and strategy for

the NAP process and what kind of mandate is needed

to drive it?

What institutional arrangements are required at the

national level to coordinate and lead the NAP process?

What outputs are expected from the NAP process, and

when?

What will be the reporting arrangements to various

stakeholders in the country?

What technical and financial arrangements are needed

and can be mobilized to sustain the process in the

short to long-term?

Key questions for each step (example element A)

Element B: Preparatory elements

Objective: Develop and integrate national adaptation plans

Expected outputs

1. Report on current climate and

future climate scenarios

2. Ranked CC vulnerabilities

3. Ranked adaptation options

4. Adaptation knowledge base

5. National adaptation plans

6. Communication/ education

strategy

Activities

1. Analyze current climate and

future climate scenarios

2. Assess and rank climate

vulnerabilities

3. Identify, appraise and prioritize

adaptation options

4. Compile national adaptation plan

documents and integrate them

with other ongoing development

and sectoral planning processes

Outcome

• Clear understanding of interplay between climate (changes),

vulnerabilities and development

• Overview of adaptation needs and options considering synergies with

other development and sectoral planning

Methods for assessing vulnerability to climate change

A country will likely apply several vulnerability assessment

approaches, including:

•Hazards approach – where hazards are closely linked to disaster risk

management

•Risk management approach – taking into account measures to

reduce risk

•Vulnerability approach - emphasis on interactions between climate

and society

•Resilience approach – readjustment and flexibility in response to

changing conditions

•Ecosystem-based approaches for adaptation - focus on adaptation

activities that rely on goods and services provided by ecosystems

•Expert-based approach - focus on the ranking and prioritization of

adaptation options through a qualitative assessment

Element B: Preparatory elements

Common criteria for ranking climate risks include:

• Nature of impacts (loss of live, diseases, constraints to economic

development, etc.)

• Order of magnitude of the potential climate change impact

• Probability, likelihood and level of confidence

• Reversibility

• Urgency of action

• Policy relevance

• Connectivity or cross-cutting risks across sectors or regions

• Importance of systems at risk on national development

• Biophysical sensitivity to the effects of climate change

Element B: Preparatory elements

Ranking climate risks

Gender in the objectives of the national adaptation plan process

• Follow a country-driven, gender-sensitive, participatory and fully transparent approach, taking into consideration vulnerable groups, communities and ecosystems

• Be based on and guided by the best available science and, as appropriate, traditional and indigenous knowledge, and by gender-sensitive approaches, with a view to integrating adaptation into relevant social, economic and environmental policies and actions

Element C: Implementation strategies

Objective: Develop a long-term adaptation implementation strategy

Expected outputs

1. Prioritized adaptation options

2. Long-term adaptation

implementation strategy

considering special issues like

gender and integration into other

planning processes

3. Policies, programmes, projects

4. Strategy for enhancing planning

and implementation capacity

Activities

1. Prioritize adaptation options for

strategic implementation according

to selected criteria

2. Develop a long-term

implementation strategy

3. Promote coordination and synergy

4. Strengthen institutional and

regulatory frameworks

5. Implement concrete adaptation

measures and activities

Outcome

• Long-term orientation for stakeholders with respect to adaptation planning

and implementation

• Concrete activities that can absorb funding

Adaptation activities

• To address key vulnerabilities and risks

Prioritization • Of adaptation activities at the national level

• Overarching strategy for prioritizing vulnerable communities

Approach for implementation

• Project-by-project basis

• Sector-wide or programmatic approach

• Resilience, climate proofing, ecosystem based, etc.

Support

• Funding, technology, capacity-building

• Sources of funding

• Options for mobilization of support

Overall coordination

• For the implementation of the plan

Synergies

• With other national plans

• At the regional level

• With other MEAs

Timing and sequencing of

activities

• Taking into account available resources, ongoing and planned adaptation, relevant development initiatives

Plus, for each activity

• Objectives, outputs, expected outcomes

• Target areas or beneficiaries

• Resources required for implementation

• Responsible organization(s) and/or agency(ies)

Elements of an implementation plan/strategy

Element C: Implementation strategies

Implementing concrete adaptation measures

An important component of the NAP

process is addressing adaptation

through various policies, projects

and programmes depending on the

challenges, needs and gaps. Such

policies, projects and programmes will

vary in form and character across

scales, and will depend on prevailing

circumstances.

Development goals:

Attainment and safeguarding of food

security;

Attainment and safeguarding of

water security and sanitation;

Protection of life and property;

Protection and enhancement of

ecosystems;

Support and enhancement of human

health and safety;

Climate proofing major components

of the economy;

Protection and preservation of

cultural values and systems.

Element C: Implementation strategies

Element D: Reporting, monitoring and review

Objective: Ensure the effectiveness of the NAP process

Expected outputs

1. Progress reports

2. Evaluation reports

3. Review reports

4. Updated plans

Activities

1. Monitor and assess progress

2. Evaluate and review the process

3. Update the NAP regularly

Outcome

• The NAP process is transparent to internal and external stakeholders and can be

adjusted to ensure effectiveness

Identify areas

of the NAP

process that

are most

relevant for its

effectiveness to

be monitored,

based on M&E

strategy

Process

metrics

Input

metrics

Output

metrics

Outcome/

results-based

metrics

Impact

metrics

Define

metrics to

measure

progress in

selected

areas

Collect

information

on metrics

throughout

NAP process

Review

progress and

effectiveness of

NAP process

through the

evaluation of

the information

gained through

the metrics,

also

considering

emerging

science

Element D: Reporting, monitoring and review

What does it mean to have embarked on the NAP process?

• Declaring a coordinating or spearheading mechanism

• Scoping of required activities to drive the NAP process (mandates,

institutions, relevant stakeholders, resources), recognizing ongoing

NAP-relevant activities

• Clustering the NAP process into workstreams

• Arrangements for support

• Compilation and communication of a roadmap or strategy, including

milestones, for the initial phase of the national process

A country could communicate the initiation of its NAP process and

provide contact details for partners that are interested in supporting

the process